Job Description:

Compliance Advisor - Digital Compliance Records and Information Management (RIM)

The Compliance Advisor is a member of the Digital Compliance Records and Information Management (RIM) team. This team member will support a book of business to aid and provide governance to business unit Records Management programs and enable end-to-end work with key stakeholders on initiatives and programs. The Compliance Advisor works independently and consults with the Head of Records and Information Management, as needed, while supporting or leading moderate to complex projects and programs. This work is varied and often time sensitive; it can range, for example, from policy drafting, systems upgrades and replacements, regulatory rules implementation, to controls governance and supporting of new product offerings.

The Expertise You Have

4+ years compliance, project management, program management, or practical technology collective experience in any of the following areas, digital technologies, data management/analysis, and development/automation

Support large and complex bodies of work with cross-functional teams as assigned, with support from team members as the opportunity arises
Can build a reputation as a point of contact and subject matter expert while managing and driving forward key initiatives and major programs
Ability to build relationships with a focus on internal customers and partners
Experience working with Fidelity's other Legal Regulated Entities and our Compliance, Audit, Risk, or Technology business partners
Familiarity with the regulatory landscape and industry Regulators such as FINRA and SEC

The Skills You Bring

Effectively and dynamically learn regulatory, business, and technology concepts as dictated by the work; proactively apply that knowledge accordingly while demonstrating an interest and curiosity about the subject matter

Ability to present a point-of-view (POV) along with options and recommendations for process improvements or a course of action
Identifies who the decision makers are and presents ideas or recommendations, in a persuasive manner, to successfully influence their decisions and leads to action
Comfortable with ambiguity and effectively navigating in a fluid environment (e.g., in situations where there is uncertainty and/or limited information)
Persuasive communication (oral and written), organizational and prioritization skills
Program and project management competencies that demonstrate robust problem solving, analytical skills, and creative thinking
Ability to simultaneously identify, prioritize, and address multiple issues and quickly respond to shifts in priorities; demonstrate flexibility and adaptability
Collaborates through a proactive/constructive dialogue with team members and partners.
Unassailable integrity with strength of character to express opinions and respectfully challenge other points of view
Results driven

The Value You Bring

Assume ownership for the end-to-end process and understand the prioritization of tasks and milestones on initiatives, programs, and projects to which you are assigned; ensure that deadlines are not missed
Articulate the value of the work you are delivering
Know when to challenge a routine if there is no value in doing, but also be able to offer a solution if there is a better way to deliver
Provide support to business compliance and technology partners, as needed
Ability to work across people & teams in a constructive and adaptive way to "get the job done."

The Team

This person is part of a Records and Information Management team responsible for leading and coordinating the delivery and execution of a comprehensive Records and Information Management regulatory program (including SEC 17a-3 and 4, SEC 17ad-6 and 7, FINRA 4511 and MSRB) for Fidelity businesses. The team:

Lead and work on projects and programs to ensure compliance with regulations.
Work with Records Managers from each Fidelity business and corporate function to annually review records retention schedules and ensure consistent and compliant implementation of policies and standards across the firm.
Coordinates firm-wide official records related incident responses, including timely communication of issues.
Help improve the records and information management community through education, socialization and leading by example.
Collaborates with partners including Compliance, Technology, Risk, Cybersecurity and Global Security partners, senior business leaders, internal auditors, vendors, and regulators.

Certifications:

Company Overview

Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money.

Join Us

At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees' Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.

Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Having the majority of our associates work onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most roles listed as Hybrid will require associates to work onsite all business days of every other week in a Fidelity office. This does not apply to roles listed as Remote or Onsite.

At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

We invite you to Find Your Fidelity at fidelitycareers.com.

Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to accommodations@fmr.com.